Nuechterlein Carole 4
4 · Aligos Therapeutics, Inc. · Filed Oct 20, 2020
Insider Transaction Report
Form 4
Nuechterlein Carole
Director
Transactions
- Conversion
Common Stock
2020-10-20+283,550→ 3,092,340 total(indirect: See footnote) - Conversion
Series B-2 Preferred Stock
2020-10-20−283,550→ 0 total(indirect: See footnote)→ Common Stock (283,550 underlying) - Conversion
Series B-1 Preferred Stock
2020-10-20−662,799→ 0 total(indirect: See footnote)→ Common Stock (662,799 underlying) - Conversion
Common Stock
2020-10-20+2,145,991→ 2,145,991 total(indirect: See footnote) - Conversion
Common Stock
2020-10-20+662,799→ 2,808,790 total(indirect: See footnote) - Conversion
Series A Preferred Stock
2020-10-20−2,145,991→ 0 total(indirect: See footnote)→ Common Stock (2,145,991 underlying)
Footnotes (2)
- [F1]Each share of the issuer's Series A Preferred Stock, Series B-1 Preferred Stock and Series B-2 Preferred Stock automatically converted into one (1) share of the issuer's Common Stock immediately upon the closing of the issuer's initial public offering on October 20, 2020 and had no expiration date.
- [F2]Roche Finance Ltd is the direct beneficial owner of these securities of the Issuer. Roche Finance Ltd is a wholly owned subsidiary of Roche Holding Ltd. Roche Holding Ltd is the indirect beneficial owner of these securities of the Issuer. The Reporting Person disclaims beneficial ownership of the securities except to the extent of its pecuniary interest therein, if any. The Reporting Person also disclaims beneficial ownership of any securities of the Issuer that may be or are beneficially owned by any other person or persons other than such Reporting Person. This Form 4 shall not be deemed an admission that any Reporting Person or other person is a beneficial owner of any securities of the Issuer for any purpose, other than the securities reported in this Form 4.